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CFTC and SEC to hold joint meetings

Sutherland Asbill & Brennan LLP
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USA
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September 4 2009

The Commodity Futures Trading Commission (CFTC) and the SEC will hold a Joint Open Meeting to seek input from the public on harmonization of market regulation on September 2, 2009, at the CFTC and on September 3, 2009, at the SEC

SEC and CFTC hold joint meetings for harmonization of market regulation

Sutherland Asbill & Brennan LLP
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USA
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October 2 2009

The SEC and the CFTC held joint meetings on harmonizing regulation

CFTC and SEC issue harmonization report update

Sutherland Asbill & Brennan LLP
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USA
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October 2 2009

The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) stated in a press release that they anticipate that, in two weeks, the two agencies will issue a report that will address key areas in which their regulatory schemes are different

CFTC Chairman Gensler speaks before the Managed Funds on the regulation of OTC derivatives and hedge funds

Sutherland Asbill & Brennan LLP
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USA
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July 6 2009

U.S. Commodity Futures Trading Commission (CFTC) Chairman Gary Gensler spoke before the Managed Funds Association in Chicago, Illinois, regarding the regulation of OTC derivatives and hedge funds

SEC charges operators of $80 million Ponzi scheme targeting Korean-Americans

Sutherland Asbill & Brennan LLP
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USA
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July 6 2009

The SEC charged two California men, Peter C. Son and Jin K. Chung, and two companies they controlSNC Asset Management, Inc. and SNC Investments, Inc.for conducting an $80 million Ponzi scheme that targeted Korean-American investors with false promises of extraordinarily high returns from foreign currency (forex) trading

Joint orders issued by SEC and CFTC on volatility indexes and securities futures

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

The SEC and the Commodity Futures Trading Commission (CFTC) issued two joint orders related to security-based futures contracts to clarify each agency’s respective jurisdiction and allow additional products to underlie security futures

SEC Commissioner and CFTC Chairman testify on the draft Financial Stability Improvement Act of 2009

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

SEC Commissioner Elisse B. Walter testified before the House Committee on Agriculture concerning the Discussion Draft of the Financial Stability Improvement Act (Discussion Draft

Hedge fund sanctioned by CFTC for allegedly making false statements concerning its market positions to the Chicago Board of Trade

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

The CFTC settled charges against EMF Financial Products, LLC (EMF), a CFTC registrant based in New York, N.Y., for making false statements and failing to disclose material information concerning its market positions and financing to the Chicago Board of Trade (CBOT

SEC Chairman Schapiro testifies on the regulatory perspectives on the Obama Administration’s financial regulatory reform proposals

Sutherland Asbill & Brennan LLP
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USA
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August 4 2009

SEC Chairman Mary Schapiro testified before the U.S. House of Representatives Committee on Financial Services about the regulatory perspectives of the Obama Administration’s financial regulatory reform proposals